Course Code: CRI 060

Course Title: Criminal Procedure & Court Testimony

Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

Lesson title: Preliminary investigation Materials: Ballpen, Paper & Notebook

Lesson Objectives:
At the end of this module, you should be able to:
At the end of the module, students will be able to:
1. Identify cases where preliminary investigation is
required, the steps in conducting preliminary
investigation and its importance in criminal
proceedings.
2. Compare preliminary investigation from inquest
investigation
References:
1. Willard B. Riano, Criminal Procedure
(The Bar Lectures Series), Copyright
2011 by REX Book Store, Inc.
2. Herrera, Remedial Law, Vol. IV
(Criminal Procedure), Copyrigth 2007
by Rex Book Store.

A. LESSON PREVIEW/REVIEW

Introduction (2 mins)

1. How are you today? I hope you are doing well. Are you excited for today’s lesson? Good! Let’s get
started. Our topic is entitled “Preliminary Investigation” with the objectives that you will be able Identify
cases where preliminary investigation is required, the steps in conducting preliminary investigation and
its importance in criminal proceedings; and compare preliminary investigation from inquest
investigation.
.

B. MAIN LESSON
Activity 1: Content Notes (60 mins) I believe you are quite excited to know about the rules of institution of
criminal and civil actions. The concept of preliminary investigation, arrest and search. But before that, let us
know first to the rules of preliminary investigation, arrest and search under rules 112,113 and 126 of the
Rules of Courts. Let’s get started!

1. What is a preliminary investigation?

➢ Preliminary investigation is an inquiry or proceeding to determine whether there is sufficient ground
to engender a well-founded belief that a crime has been committed and the respondent is probably
guilty thereof, and should be held for trial.

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

2. What is the basic purpose of preliminary investigation?

➢ The purpose of preliminary investigation is to determine whether a crime has been committed and
whether there is a probable cause to believe that accused is guilty thereof. (Cruz, Jr. vs. People,
G.R. No 110436, June 27, 1994).
➢ Preliminary investigation is merely inquisitorial, and it is often the only means of discovering the
persons who may be reasonably charged with a crime, to enable the fiscal to prepare his complaint
or information. It is not a trial of the case on the merits and has no purpose except that of
determining whether a crime has been committed and whether there is probable cause to believe
that the accused is guilty thereof, and it does not place the person against whom it is taken in
jeopardy.
➢ Note: Summary purposes are:
a. For investigating prosecutor to determine if a crime has been committed.
b. To protect the accused from inconvenience, expense and burden of defending himself in a formal
trial unless the reasonable probability of his guilt shall have been first ascertained in a fairly
summary proceeding by a competent officer.
c. To secure the innocent against hasty, malicious and oppressive prosecution.
d. To protect the State from having to conduct useless and expensive trial.

3. State the nature of the right to preliminary investigation.

➢ Preliminary investigation is subject to the requirements of both substantive and procedural due
process. The right of an accused to a preliminary investigation is not a constitutional but merely a
statutory right. Nonetheless, it is a component part of due process in criminal justice and is a
substantive right. If not waived the absence thereof may amount to a denial of due process. It is a
personal right and may be waived expressly or by implication (Mariñas vs. Siochi, 104 SCRA 423).
➢ Lack of preliminary investigation is not a ground to quash or dismiss a complaint or information, nor
does it affect the court’s jurisdiction. When there is no preliminary investigation, the accused must
invoke it at the first opportunity and the court should hold in abeyance or suspend proceedings and
remand the case to the office of the prosecutor for him to conduct preliminary investigation. The
refusal of the court to remand the case for preliminary investigation can be controlled by certiorari
and prohibition to prevent trial.

4. When preliminary investigation is conducted?

➢ A preliminary investigation is required to be conducted before the filing of a complaint or information
for an offense where the penalty prescribed by law is at least four (4) years, two (2) months and
one (1) day without regard to the fine, except of person arrested without warrant (Sec.1[2], Rule
112).

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

5. If a case was filed in court without preliminary investigation, what remedy may the accused avail of?
➢ The remedy is to hold the case or the proceeding in abeyance and order the fiscal to hold
preliminary investigation. (Pilapil vs. SB, April 7, 1993). Thus, the refusal of the court to remand the
case for preliminary investigation can be controlled by certiorari and prohibition to prevent trial.

6. Enumerate the officers who may conduct a preliminary investigation.

➢ The following may conduct preliminary investigations: (a) Provincial or City Prosecutors and their
assistants; (b) National and Regional State Prosecutors; and (3) Other officers as may be
authorized by law.
➢ Other Officers include: (a) COMELEC for an election offense as defined in the Omnibus Election
Code and in other election laws, and not the personality of the offender that matters; and (b)
Ombudsman for cases cognizable by the Sandiganbayan and must be conducted pursuant to
Rule 11 of the Rules of Procedure of the Office of the Ombudsman.

7. State the procedure in conduction preliminary investigation.

➢ The preliminary investigation shall be conducted in the following manner (Sec. 3, Rule 112):
a. The complaint shall state the address of the respondent and shall be accompanied by the
affidavits of the complainant and his witnesses, as well as other supporting documents to
establish probable cause. They shall be in such number of copies as there are respondents, plus
two (2) copies for the official file. The affidavits shall be subscribed and sworn to before any
prosecutor or government official authorized to administer oath, or, in their absence or
unavailability, before a notary public, each of whom must certify that he personally examined the
affiants and that he is satisfied that they voluntarily executed and understood their affidavits.
b. Within ten (10) days after the filing of the complaint, the investigating officer shall either dismiss
it if he finds no ground to continue with the investigation, or issue a subpoena to the respondent
attaching to it a copy of the complaint and its supporting affidavits and documents.

The respondent shall have the right to examine the evidence submitted by the complainant which
he may not have been furnished and to copy them at his expense. If the evidence is voluminous,
the complainant may be required to specify those which he intends to present against the
respondent, and these shall be made available for examination or copying by the respondent at
his expense.

Objects as evidence need not be furnished a party but shall be made available for examination,
copying, or photographing at the expense of the requesting party.

c. Within ten (10) days from receipt of the subpoena with the complaint and supporting affidavits

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

and documents, the respondent shall submit his counter-affidavit and that of his witnesses and
other supporting documents relied upon for his defense. The counter-affidavits shall be
subscribed and sworn to and certified as provided in paragraph (a) of this section, with copies
thereof furnished by him to the complainant. The respondent shall not be allowed to file a motion
to dismiss in lieu of a counter-affidavit.

d. If the respondent cannot be subpoenaed, or if subpoenaed, does not submit counter-affidavits

within the ten (10) day period, the investigating office shall resolve the complaint based on the
evidence presented by the complainant.

e. The investigating officer may set a hearing if there are facts and issues to be clarified from a
party or a witness. The parties can be present at the hearing but without the right to examine or
cross-examine. They may, however, submit to the investigating officer questions which may be
asked to the party or witness concerned.

The hearing shall be held within ten (10) days from submission of the counter-affidavits and other
documents or from the expiration of the period for their submission. It shall be terminated within
five (5) days.

f. Within ten (10) days after the investigation, the investigating officer shall determine whether or
not there is sufficient ground to hold the respondent for trial.

➢ Note: the following rules:

• In preliminary investigation, dismissal of the charges as a result thereof is not equivalent to a
judicial pronouncement of acquittal.
• A motion to dismiss is not allowed or a prohibited pleading during preliminary investigation.
• The respondent is required to submit counter-affidavits and other supporting documents
relied upon by him for his defense, otherwise the prosecutor will resolved the case in favour
of the complainant. Thus, the prosecutor is required to resolve the complaint based on the
evidence presented by the complainant in the event that the respondent cannot be
subpoenaed or the respondent, if subpoenaed, does not submit a counter-affidavit within the
10-day period.
• The respondent has the right to examine the evidence submitted by the complainant of which
he may not have been furnished and to obtain copies thereof at his expense.
• The Secretary of Justice is not prevented from entertaining an appeal from the accused or from
the offended party even after the information has been filed and the trial court has arraigned
the accused. Section 4 of DOJ 223 should be construed as merely enjoining the Secretary of

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

Justice to refrain, as far as practicable, from entertaining a petition for review or appeal from
the action of the prosecutor once the complaint or information is filed in court. If the Secretary
reverses the ruling of the prosecutor, the latter has to file the necessary motion to dismiss the
complaint or information, the grant or denial of which is subject to the discretion of the trial
court.

8. State the duties of a judge of the Regional Trial Court upon the filing of the complaint or information.
➢ Within ten (10) days from the filing of the complaint or information, the judge shall personally
evaluate the resolution of the prosecutor and its supporting evidence.
➢ He may immediately dismiss the case if the evidence on record clearly fails to establish probable
cause. If he finds probable cause, he shall issue a warrant of arrest, or a commitment order if the
accused has already been arrested pursuant to a warrant issued by the judge who conducted the
preliminary investigation or when the complaint or information was filed pursuant to section 7 of this
Rule.
➢ In case of doubt on the existence of probable cause, the judge may order the prosecutor to present
additional evidence within five (5) days from notice and the issue must be resolved by the court
within thirty (30) days from the filing of the complaint of information. (Sec. 6, Rule 112).

9. In what instances is a warrant of arrest not necessary?

➢ A warrant of arrest shall not be issued: (a) if the accused is already under detention; (b) or if the
accused is arrested without warrant; and (c) or is for an offense penalized by fine only.

10. Where a complaint or information may be filed without preliminary investigation even if the law
requires a preliminary investigation?
➢ When a person is lawfully arrested without a warrant involving an offense which requires a
preliminary investigation, the complaint or information may be filed by a prosecutor without need
of such investigation provided an inquest has been conducted in accordance with existing rules.
In the absence or unavailability of an inquest prosecutor, the complaint may be filed by the
offended party or a peace officer directly with the proper court on the basis of the affidavit of the
offended party or arresting officer or person.

➢ Note: Inquest Investigation is an informal and summary investigation conducted by a public

prosecutor in criminal case involving persons arrested and detained without the benefit of a warrant
of arrest issued by the court for the purpose of determining whether or not said persons should
remain under custody and correspondingly be charged in court. The purpose of inquest
investigation is to determine whether or not the person is arrested without warrant was valid.

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

11. What is the right of a person lawfully arrested without warrant before the filing of the complaint or
information and under what condition?
➢ Before the complaint or information is filed, the person arrested may ask for a preliminary
investigation in accordance with this Rule, but he must sign a waiver of the provision of Article 125
of the Revised Penal Code, as amended, in the presence of his counsel. Notwithstanding the
waiver, he may apply for bail and the investigation must be terminated within fifteen (15) days from
its inception. (Sec. 7[2], Rule 112).

12. What is the right of a person arrested without if information has been filed against him without
preliminary investigation?
➢ After the filing of the complaint or information in court without a preliminary investigation, the
accused may, within five (5) days from the time he learns of its filing, ask for a preliminary
investigation with the same right to adduce evidence in his defense. (Sec. 7[3], Rule 112).

13. What is arrest and how it is made?

➢ Arrest is the taking of a person into custody in order that he may be bound to answer for the
commission of an offense.
➢ And it is made by an actual restraint of a person to be arrested, or by his submission to the
custody of the person making the arrest. No violence or unnecessary force shall be used in
making an arrest. The person arrested shall not be subject to a greater restraint than is necessary
for his detention.
➢ Note: The following terminology related to arrest:
a. Alias warrant. The Court shall issue an alias warrant if the original warrant of arrest is returned
by the peace officer together with the report. This happen if after the issuance of the warrant,
the accused remains at large for six (6) months from the delivery of the warrant to the proper
peace officer. An order archiving the case shall require the peace officer to explain why the
accused was not apprehended.
b. A bench warrant is defined as a writ issued directly by a judge to a law-enforcement officer,
especially for the arrest of a person who has been held in contempt, has disobeyed a
subpoena, or has to appear for a hearing or trial. The provision on bench warrant is expressed
under Section 9, Rule 71 of the Rules of Court which states that "[w]hen a respondent released
on bail fails to appear on the day fixed for the hearing, the court may issue another order of
arrest or may order the bond for his appearance to be forfeited and confiscated, or both.
c. John Doe is warrant of arrest issued against “John Doe” whom the witnesses to the complaint
could not identity are in the nature of general warranty, one of the class of writs long prescribed
as unconstitutional and once anathematized as “totally subversive of the liberty of the subject”.
Such warrants are void because they violate the constitutional injunction that warrants of arrest

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

should particularly describe the person or persons to be seized (Pangandaman Vs. Casar, G.R.
No. 71782, April 14, 1988).

14. When the warrant is issued?

➢ The judge issues a warrant of arrest in two instances:
(a) Upon the filing of the information by the prosecutor. In issuing this kind of warrant, the judge
does not personally examine the complainant and the witnesses he may produce, but he merely
evaluates personally the report and supporting documents and other evidence adduced during the
preliminary investigation and submitted to him by the prosecutor, and if he finds probable cause on
the basis thereof, he issues the warrant for the arrest of the accused.

(b) Upon application of a peace officer. In this kind of warrant, the judge must personally examine
the applicant and the witnesses he may produce, to find out whether there exists probable cause,
otherwise the warrant issued is null and void. He must subject the complainant and the witnesses
to searching questions. The reason for this is there is yet no evidence on record upon which he
may determine the existence of probable cause.

Content and Skill-Building

Activity 2: Skill-building Activities

Let’s practice! After completing each exercise, you may refer to the Key to Corrections for feedback. Try to
complete each exercise before looking at the feedback.

2.1. Define preliminary investigation, probable cause and arrest. Enumerate the purpose of preliminary
investigation. Write your answers below. Avoid any erasures.

Questions: Answers:
1. Define Preliminary
investigation

2. Define Probable cause

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

3. Enumerate the purpose

of preliminary
investigation

2.2 Here’s more! Discuss the concept, nature and purpose of preliminary investigation: Limit your answer to
two sentences only.

Questions Answers:
a. Purpose of primary
investigation

b. Nature of the right of

preliminary investigation

c. When preliminary
investigation is mandatory

d. Effect of absent
preliminary investigation

2.3: Check for Understanding (5 mins) The following are questions to assess your understanding about the
lesson today. You are required to identify what is being asked. Write your answer on the space provided
before the number. Avoid any erasures! “Check your answers against the Key to Corrections found at the end
of this SAS. Write your score on your paper.”

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

MULTIPLE CHOICE: (1 point each) Instructions: Read and analyze each statement carefully. Encircle the
letter of your choice.

1. Is an informal and summary investigation conducted by a public prosecutor in criminal case involving
persons arrested and detained without the benefit of a warrant of arrest issued by the court for the purpose
of determining whether or not said persons should remain under custody and correspondingly be charged
in court?
a) Preliminary conference c) Probable cause
b) Preliminary investigation d) Inquest Investigation

2. Officers authorized to conduct preliminary investigation, except…

a) City or Provincial Prosecutor c) Judges in MTC
b) National Prosecutor d) Ombudsman

3. When preliminary investigation mandatory in criminal cases?

a) Cases cognizable by MTC c) Cases govern by Summary Rule

b) Penalty is at least 4 years 2 months and 1 day d) All of them

4. The period required to resolve the complaint based on the evidence presented by the complainant in the
event that the respondent cannot be subpoenaed or the respondent, if subpoenaed, does not submit a
counter-affidavit.
a) Within 10 days c) Within 5 days
b) Within 15 days d) Within 3 days

5. Remedy of the accused in case he was arrested without warrant after knowing that information was filed
against him.
a) Demand PI any time before filing c) Conduct Inquest Investigation
b) Demand PI with 5 days d) Advice the accused to waive his right under art. 125

C.LESSON WRAP-UP

Q1. State the concept, scope, purpose and importance of preliminary investigation?

Answer: the following are the concept, scope, purpose and importance of preliminary investigation:

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 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

➢ Preliminary investigation is an inquiry or proceeding to determine whether there is sufficient ground to

engender a well-founded belief that a crime has been committed and the respondent is probably guilty
thereof, and should be held for trial.
➢ Preliminary investigation is merely inquisitorial, and it is often the only means of discovering the persons
who may be reasonably charged with a crime, to enable the fiscal to prepare his complaint or
information. It is not a trial of the case on the merits and has no purpose except that of determining
whether a crime has been committed and whether there is probable cause to believe that the accused
is guilty thereof, and it does not place the person against whom it is taken in jeopardy.

➢ Preliminary investigation is subject to the requirements of both substantive and procedural due process.
The right of an accused to a preliminary investigation is not a constitutional but merely a statutory right.
Nonetheless, it is a component part of due process in criminal justice and is a substantive right. If not
waived the absence thereof may amount to a denial of due process. It is a personal right and may be
waived expressly or by implication.

➢ Lack of preliminary investigation is not a ground to quash or dismiss a complaint or information, nor
does it affect the court’s jurisdiction. When there is no preliminary investigation, the accused must
invoke it at the first opportunity and the court should hold in abeyance or suspend proceedings and
remand the case to the office of the prosecutor for him to conduct preliminary investigation. The refusal
of the court to remand the case for preliminary investigation can be controlled by certiorari and
prohibition to prevent trial.

Thinking about Learning

A. Work Tracker
That’s it! You have successfully finished the lesson today. Let us track your progress. Shade the session
number you just completed. Kindly mark the place in the work tracker to help you track how much work they
have accomplished and how much work there is left to do.

Period 1 Period 2 Period 3

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30

B. Think about your Learning

A. Did you have challenges learning the concepts in this module? If none, which parts of the module
helped you learn the concepts?
_________________________________________________________________________________
_________________________________________________________________________________

B. Some question/s I want to ask my teacher about this module is/are:

_________________________________________________________________________________
_________________________________________________________________________________

This document is the property of PHINMA EDUCATION

 Course Code: CRI 060
Course Title: Criminal Procedure & Court Testimony
Module #4 Student Activity Sheet

Name:_____________________________________________________________ Class number: _______

Section: ____________ Schedule:________________________________________ Date:________________

ANSWER KEY:

Rubrics on Skill Building Rate

Activity 2.1
Correct answer with explanation and without 5
erasure
Correct answer with explanation but with erasure 2
Incomplete answer and no explanation 2
Correct answer with explanation and without 1
erasure
Total 10 points
Activity 2.2
Correct answer with explanation and without 5
erasure
Correct answer with explanation but with erasure 2
Incomplete answer and no explanation 2
Correct answer with explanation and without 1
erasure
Total 10 Points
Activity 2.3
1. D, 2. C, 3. B, 4. A, 5. B

Congratulations! That’s enough for today, please study in advance 😊

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